Holger C. Dietze
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Holger Claus Dietze was a registered financial professional .
Holger is a previously registered financial professional and started their career in finance in 1984. Holger had worked at 3 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 1992 - July 17, 1996
VOSS & CO., INC.
September 4, 1990 - July 8, 1992
LARA, SHULL & MAY, LTD
January 25, 1984 - August 17, 1990
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 6/13/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VOSS & CO., INC.
CRD#: 6405 / SEC#: , 8-17380
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
